a g ocha field offices and cap facilitators to organize a ca… · cap workshop guide. this is a...

A GUIDE FOR OCHA FIELD OFFICES AND

CAP FACILITATORS

THE CAP TRAINING PROGRAMME

W E L C O M E ! The CAP training team is pleased to introduce you to the How to Organise a CAP Workshop guide. This is a simple and practical guide to help you to organise an efficient and successful CAP Workshop. The information contained in this guide represents the collected experience of the former hosts (usually OCHA Field Offices) and facilitators of the many workshops run by CAP facilitators around the world. Your comments and suggestions are, therefore, highly appreciated and can contribute to improve our service and to facilitate the work of future hosts. The workshops are intended to support CAP Country Teams in developing a Common Humanitarian Action Plan that helps to prioritise and guide humanitarian activities in a given emergency. More importantly, the workshops can be a key step in an on-going process of discussion around humanitarian effectiveness in your country or region, with the aim of increasing the accountability of the humanitarian system. While we look forward to meeting you in the near future, please, do not hesitate to contact us in Geneva should you have any queries or require any further information. In the meantime, a sincere thank you and good luck! Fabrizio Gentiloni Chief, a.i., Response Coordination Branch OCHA Geneva

ii

H O W T O U S E T H I S G U I D E :

BE SMART!

SKIM THE TABLE OF CONTENTS TO FIND

THE INFORMATION YOU NEED.

All information in this guide is presented TWICE: as narrative with in-depth explanations (Sections I and II)

and

as checklists and templates (Section III: Annexes)

TIP: For a summary of “who does what” to organise a CAP

workshop, see Annex I

For a detailed checklist on how to organise a CAP workshop, see Annex VII

For a detailed checklist of typical workshop equipment

and supplies, see Annex VIII

iii

Y O U R C O N T A C T S I N G E N E V A :

Training Coordinator Aimee Wielechowski

Tel: +41 22 917 1840 Fax: +41 22 917 0368

Email: [email protected]

Administrative Assistant Mirlinda Pasoma

Tel: +41 22 917 1438 Fax: +41 22 917 0368 Email: [email protected]

United Nations Office for the Coordination of Humanitarian Affairs (OCHA)

CAP and Donor Relations Section Palais des Nations

CH-1211 Geneva 10

iv

T A B L E O F C O N T E N T S

Welcome!....................................................................................................................................................... ii How to use this guide: .................................................................................................................................. iii Your Contacts in Geneva: ............................................................................................................................ iv Introduction: The Consolidated Appeals Process (CAP) ............................................................................ vii SECTION 1: What is a CAP Workshop? ................................................................................................... 1 Why Host a CAP Workshop? ....................................................................................................................... 1 CAP Workshop Description.......................................................................................................................... 1 What a CAP Workshop is NOT: ................................................................................................................... 2 Workshop Contents ...................................................................................................................................... 2 Objectives of the 3–day Workshop............................................................................................................... 2 Who should be Invited to the 3 – day Workshop?........................................................................................ 3 Objectives of the Executive Brief.................................................................................................................. 3 Who should be Invited to the Executive Brief?............................................................................................. 4 “But we had a CAP workshop last year?!?”.................................................................................................. 4 WHO organises CAP workshops? ............................................................................................................... 4 WHO facilitates CAP workshops? ................................................................................................................ 5 What costs are involved? ............................................................................................................................. 6 SECTION 2: A Guide to Organising a CAP Workshop ………………………………………………………7 Step I: Defining Workshop Objective and Setting the Agenda ........................................................... 7 Step II: Inviting the Participants........................................................................................................... 7 Step III: Logistics and Administration ................................................................................................... 8 Step IV: Confirming Participants........................................................................................................... 8 Step V: Facilitators Briefing Meetings.................................................................................................. 9 Step VI: The Workshop....................................................................................................................... 10 Step VII: After the Workshop (1-3 weeks) ........................................................................................... 10 SECTION 3: ANNEXES ......................................................................................................................... 11 ANNEX 1 Summary: Who does what....................................................................................................... 12

v

ANNEX 2 Invitation Letter ....................................................................................................................... 13 ANNEX 3 CAP Workshop Registration Form ......................................................................................... 14 ANNEX 4 Generic Terms of Reference: CAP Field Focal Points........................................................... 15 ANNEX 5 Example of Agenda ................................................................................................................ 16 ANNEX 6 CAP Workshop Evaluation Form............................................................................................ 17 ANNEX 7 Organising the Workshop - Checklist ..................................................................................... 19 ANNEX 8 Detailed Checklist of Equipment and Supplies ...................................................................... 22 ANNEX 9 Workshop Report Template ................................................................................................... 23 ANNEX 10 Facilitator’s Report Template ............................................................................................... 27

vi

H O W T O O R G A N I S E A C A P W O R K S H O P

I N T R O D U C T I O N

TH E CO N S O L I D A T E D AP P E A L S PR O C E S S (CAP) The Consolidated Appeal is a main component of UN General Assembly Resolution 46/182 (1991) to strengthen coordination and to promote effective and appropriate responses to emergencies. The CAP is a framework for developing a common humanitarian strategy in response to a complex emergency. The CAP enables the member/observing organisations of the Inter-Agency Standing Committee (IASC) to set clear goals and define priorities in a humanitarian operation. The Consolidated Appeal document, which is produced annually and launched globally each November, is also used as a primary tool for joint resource mobilisation and advocacy.

Who is in the IASC? Full members: FAO, OCHA , UNDP, UNHCR, UNICEF, WFP, WHO Standing invitees: International Committee of the Red Cross (ICRC), International Federation of the Red Cross (IFRC), International Organization for Migration (IOM), the Representative of the Secretary-General on IDPs, UN Office of the High Commissioner for Human Rights (OHCHR), UN Population Fund (UNFPA), World Bank, and the following NGO consortia: Steering Committee for Humanitarian Response (SCHR), InterAction, International Council of Voluntary Agencies (ICVA)

All participating organisations of the IASC have equal ownership of the CAP. However, OCHA is the custodian and facilitator of the CAP. OCHA facilitates the process with key humanitarian partners – including UN agencies, international organisations, and NGOs to prepare the appeals, monitor implementation of the common strategy, and report on contributions through the Financial Tracking System (FTS). The FTS is a web-based searchable database for reporting donor contributions both to humanitarian programmes within and outside of the CAP. The FTS allows users to build custom financial tables on demand. It can be found on www.reliefweb.int/fts At headquarters level, the CAP Section in Geneva takes the lead in overseeing the CAP. It chairs the IASC Sub-Working Group on the CAP, organises inter-agency CAP training sessions, and maintains the FTS. In the field, the United Nations Humanitarian Coordinator oversees the preparation, implementation, monitoring and review of the CAP in close collaboration with the CAP Country Team (which includes UN Agencies, NGOs, donors and other key partners). In most countries, an OCHA Field Office supports the Humanitarian Coordinator. The CAP has evolved considerably since GA 46/182. The 1994 IASC CAP Guidelines clearly define the CAP as a programming process rather than just an appeal.

vii

http://www.reliefweb.int/


“The CAP is a programming process through which national, regional and international relief systems (including UN operational agencies; and, where appropriate to the situation, the International Committee of the Red Cross (ICRC), the International Federation of Red Cross' and Red Crescent Societies (IFRC), the International Organisation for Migration (IOM), NGOs, bilateral donors as well as appropriate national and regional structures) are able to mobilise and respond to selective major or complex emergencies that require a system-wide response to humanitarian crises.”

1994 IASC CAP Guidelines

CAP documents can – as of 2001 – be updated and revised year-round. CAP Revisions allow country teams to reflect changes in strategy or financial requirements in response to the evolving situation on the ground. Since 1991, agency and donor participation and support to the CAP has also increased. The major donors to the CAP have emphasised that the CAP should be a primary humanitarian coordination tool in the field. Since 1999, the IASC made concerted efforts to strengthen the CAP as an inter-agency coordination tool by introducing the Common Humanitarian Action Plan (CHAP). The CHAP constitutes the main strategy section of the Consolidated Appeal document. It is an inclusive, coordinated humanitarian programme based on an agreed strategy designed to achieve shared goals. The Technical Guidelines for the Consolidated Appeals Process provide practical guidance for preparing the CAP document itself, and are revised yearly to reflect any new developments in the CAP. The Guidelines explain how to structure and format the document. Since 1999 the Appeals have been launched in November by the UN Secretary-General. Since 2000, the CAP launch events are held in the capital cities of major donor countries in an effort to raise awareness among the public, and a greater number of political actors, about humanitarian needs. In terms of post-Appeal follow-up activities, the Technical Guidelines set out a framework for strategic monitoring and reporting on the strategic elements of the CAP. The aim of this is, inter alia, to provide updated information to the humanitarian community, donors and other partners, and ultimately to help ensure that humanitarian needs are met in a timely and appropriate manner. Reporting is usually in the form of a Mid-Year Review and, particularly in large-scale complex emergencies, a quarterly report. The content and format of these reports is detailed in the Technical Guidelines.

You can find the CAP training materials, technical guidelines and other important documents at www.reliefweb.int/cap.

viii


SECTION

1 W H A T I S A C A P W O R K S H O P ?

An opportunity to bring together diverse humanitarian organisations to discuss, and come to agreement on the Common Humanitarian Action Plan (CHAP). The workshop is part of an ongoing process of common strategic planning—led by the United Nations Humanitarian Coordinator—that includes assessment, analysis, programme design, implementation, monitoring, revision, evaluation and reporting. By definition, the CAP is inter-agency and inclusive. WH Y H O S T A CAP WO R K S H O P? Most organisations that participate in the Inter-Agency Standing Committee (IASC) are involved in efforts to strengthen the CAP as a common strategic planning and coordination tool. This includes the Red Cross Movement and NGOs. Most major donor countries actively promote the CAP as a coordination tool, and expect all major humanitarian actors, including themselves, to be involved in developing the CHAP. The IASC, and donors, have indicated that every country that is planning to produce a Consolidated Appeal should have an annual CAP training/facilitation event. CAP training events can have the following benefits:

Demonstrate the leadership of the United Nations Humanitarian Coordinator (UNHC) in developing a common humanitarian plan of action.

Show the humanitarian community’s commitment to learning lessons from the previous year so as to improve delivery of assistance; maximise limited resources; and strengthen accountability.

Bring diverse humanitarian actors together to discuss common constraints with an aim of finding common solutions.

Increase the likelihood of donor support by making the strategic planning process a year-round effort that continues even after the launch of the Consolidated Appeal.

CAP WO R K S H O P DE S C R I P T I O N Most workshops consist of two events. The first is a three-day workshop for CAP Focal Points. The second event is an Executive Brief for heads of agency, donors and other interested parties. This event usually follows the main workshop. The Executive Brief is an opportunity to present the workshop outputs (i.e. elements of the CHAP) to senior officials, enabling them to express their support for the strategy, or to refocus it, if necessary. The Main Workshop is aimed at CAP Focal Points from among the key humanitarian actors in an emergency. It is intensive and participatory. The optimal size of the group is 20-25. The workshop guides participants through the steps needed to develop a CHAP. However, the focus is more on the strategic planning process then the production of a Consolidated Appeal document. As such, there is ample opportunity to reflect on the quality of the overall

1


humanitarian programme, with the aim of improving common planning, and thereby, strengthening accountability. The Executive Brief is approximately two hours long and is open to all heads of agencies of organisations that are involved in the humanitarian sector – NGOs, Donors, Government. This should occur following the workshop and is ideally followed by lunch if held in the morning or a reception if held in the afternoon. It is an opportunity to have an informal question and answer session, and to ensure that workshop recommendations are in line with the overall strategy envisioned by senior level officials. Depending on the availability of CAP Facilitators, workshops can be offered in English and French. WH A T A CAP WO R K S H O P I S NOT:

An event that will produce a final, written Consolidated Appeal document An emergency operational training A substitute for on going, regular coordination mechanisms in country

WO R K S H O P CO N T E N T S Three training modules have been developed. Each module contains sessions that relate to a different aspect of the CAP. M1 – The CAP This module provides a basic introduction to the CAP as a strategic coordination and fundraising tool and examines coordination structures needed to produce a CAP. M2 – The CHAP This module includes sessions on each aspect of the strategic planning cycle. It includes sessions on monitoring and evaluation, human rights and humanitarian principles, context analysis, scenario building, setting strategic goals, actor mapping, and developing response plans. This module is highly participatory and leads to the development of concrete inputs to the CHAP. M3 – The Appeal This module focuses on the criteria used for selecting which projects should be included in the Appeal. It also looks at the scale of funding through the CAP compared to total aid to a given emergency. OB J E C T I V E S O F T H E 3–D A Y WO R K S H O P Workshop objectives should be tailored to the specific needs of the country. In general, however, the 3-day workshop aims to:

Discuss and use the methodology used to develop a CHAP. Clarify the roles and responsibilities of the key humanitarian actors in the CAP. Debate openly and critically the common humanitarian response strategy and

coordination mechanisms for a given country, with the aim of learning lessons and improving accountability.

Explore the implications of human rights as a starting point for programming and discuss how adherence to humanitarian principles shapes the entire humanitarian operation.

2


Discuss ways and means of improving common assessment and strengthening analysis by taking into account capacities and vulnerabilities of beneficiaries.

Discuss and agree on the basic elements of the CHAP. Strengthen the mindset of working collaboratively and strategically, in line with the

Secretary-General’s Reform of the United Nations, as well as recommendations of the Inter-Agency Standing Committee, and donors.

WH O S H O U L D B E I N V I T E D T O T H E 3 – D A Y WO R K S H O P? CAP Focal Points! CAP Focal Points should be mid-level professionals (e.g. Programme Officers, senior-level P-3 to P5 staff) with clearly defined roles and designated authority to represent their organisation’s interests in all CAP-related discussions. The CAP Focal Points can be from the UN Country Team, Government, the Red Cross Movement, NGOs, and donors. In some countries, CAP Focal Points have also represented beneficiary groups and Bretton Woods Institutions. Each CAP Focal Point should have clear Terms of Reference that is agreed by their Head of Agency. A generic ToR can be found in Annex IV. Together the CAP Focal Points make up the CAP Country Team. The team should be a reflection of the key humanitarian stakeholders in a given emergency. The CAP Country Team should be active year-round in all CAP-related discussions and activities, such as production of the Consolidated Appeal, monitoring the strategy, evaluating programmes and reporting to donors through the Mid-Year Review of the CAP. The CAP Country Team should be defined prior to the CAP workshop. The UN Resident/Humanitarian Coordinator plays a critical role in defining—with humanitarian partners—which organisations / entities will be included in the CAP. The selection of the participants and the correct management of the invitation process is key to a successful workshop. We cannot stress enough the importance of ensuring that the right people attend. We encourage you to spend extra time to ensure that each organisation participating in the CAP appoints a CAP Focal Point. The UNHC invites participants and organisations to attend the workshop and therefore has final say over who attends. Below are some recommendations for a standard 3-day workshop:

15-20 CAP Focal Points from key UN organisations, the Red Cross Movement, and key NGOs

1-2 Government CAP Focal Points directly involved in the CAP 1-2 CAP Focal Points from key national/regional or local NGOs 2-3 representative of key diplomatic mission as appropriate Some CAP workshops have included 1-2 representatives from the beneficiary

population OB J E C T I V E S O F T H E EX E C U T I V E BR I E F The objectives of the 2-hour Executive Brief are generally to:

Share the recommendations and follow-up actions from the 3-day workshop Secure senior-level buy-in to the recommendations. Ensure that workshop recommendations are in line with the overall strategy envisioned

by senior level officials

3


WH O S H O U L D B E I N V I T E D T O T H E EX E C U T I V E BR I E F? The Executive Brief is generally for heads of humanitarian agencies, donor representatives, and senior Government officials. The size of this meeting can be unlimited, but is most productive if limited to 20 or 30 people. The UNHC usually provides an informal reception or lunch following this Executive Brief, as a way to facilitate further discussion and to raise the profile of the United Nations and its commitment to the CAP. “BU T W E H A D A CAP W O R K S H O P L A S T Y E A R? !?” CAP training materials are flexible, and are designed to help a CAP Country Team produce inputs for the CHAP. As such, they can be modified relatively easily to suit the particular training needs of the Team. Thus, the workshop can still be very useful as a catalyst to the preparation of the upcoming Consolidated Appeal, especially for new members of the CAP Country Team. It can also serve as a forum for reflecting on the past year’s achievements and constraints; discussing lessons learned and incorporating them into the CHAP; or deepening knowledge in a certain area (e.g. rights-based approaches to assistance). WHO O R G A N I S E S CAP W O R K S H O P S? Once the UNHC has agreed to host a CAP workshop, s/he appoints an OCHA staff person (or other designated official) to be responsible for organising the workshop. OCHA plays a critical role in ensuring that the workshop is a success. This is done by providing the logistic and the administrative support to the CAP facilitation team and, more importantly, acting as the primary in-country content developer for the workshop, with support from the OCHA Training Coordinator and CAP Facilitators. Under the auspices of the UNHC, OCHA is usually also responsible for ensuring that agreed-upon follow-up actions from the workshop are actually followed-up.

OCHA Field Offices (or other host organisations) are responsible for:

Appointing a CAP Workshop Focal Point in charge of all workshop arrangements. Working with the CAP Training Coordinator and workshop facilitators to define workshop

objectives, agenda and content. Identifying and inviting participants. Distributing key pre-workshop reading materials to participants. Arranging all administrative/logistics details of the workshop. Organising briefing meetings for facilitators upon their arrival. Rounding up participants and getting them to meeting room on time Preparing a “Workshop Report” outlining the key discussion points, areas of consensus, and

agreed follow up actions (see Annex IX). Ensuring that agreed-upon follow-up actions from the workshop are followed up.

Host Organisations are not responsible for:

Identifying CAP Facilitators. Designing training material. Facilitating the workshop.

4


The decision to host a workshop is conveyed to the OCHA CAP Section in Geneva, which then works with the OCHA field office to finalise the dates, discuss workshop administration and logistics, and develop the workshop agenda.

To host a CAP Workshop, contact the CAP Training Coordinator UN Office for the Coordination of Humanitarian Affairs (OCHA)

Palais des Nations CH-1211 Geneva 10

Tel: +41 (22) 917 1840 Fax: +41 (22) 917 0368

Email: [email protected]

WHO F A C I L I T A T E S CAP W O R K S H O P S? Member organisations of the Inter-Agency Standing Committee (IASC) nominate experienced CAP practitioners as CAP facilitators. Preferably, the nominees also have prior training or facilitation experience. Each year, the OCHA CAP Section organises Training of Trainers workshops to familiarise nominees with the content and methodology of the CAP training programme, and to develop their skills at workshop delivery. CAP facilitators must be available to facilitate at least one CAP workshop per year. OCHA has begun making arrangements with other IASC subsidiary bodies to help in CAP workshop facilitation. In 2001, the IASC Reference Group on Gender provided experts in Capacities and Vulnerabilities Analysis (CVA) to facilitate seven of thirteen field workshops. These experts focused on mainstreaming CVA and its gender dimensions throughout the CAP. Efforts are now underway to strengthen ties with other organisations / IASC subsidiary bodies that offer training in areas relevant to strategic planning in humanitarian emergencies. The aim will be to link more experienced CAP Country Teams with specialised training programmes (e.g. gender, rights-based approaches, HIV/AIDS, monitoring) to ensure that training needs in a given country are met. Contact the CAP Training Coordinator in Geneva for more information. CAP facilitators lead the workshops and may also facilitate the Executive Brief, if requested. Each workshop has two facilitators; ideally from two different humanitarian organisations. Both facilitators will have studied the use of the CAP training materials and have practical experience with the CAP. If you prefer a facilitator with experience “in country”, or you wish someone from the CAP Country Team to participate on the facilitation team, please feel free to make recommendations. Ideally the person should have facilitation experience and CAP experience. Every effort will be made to accommodate the needs of the CAP Country Team, pending availability of trainers. Facilitators are expected to work closely with the OCHA field office for a minimum of 2 days before the workshop to make sure that the workshop content is relevant to the local context.

5


CAP Facilitators are responsible for:

Arriving two days before the workshop to develop workshop agenda. Reading pre-workshop reading materials before arrival. Working with the OCHA Field Office to refine the workshop agenda and develop or adapt

content. Facilitating the workshop. Documenting key points during the workshop and feeding these back to plenary. Accepting constructive feedback from participants and modifying the workshop agenda/content

as needed. Within two weeks of the workshop, jointly preparing a “Facilitators Workshop Report” on lessons

learned from a training perspective (see Annex X)

CAP Facilitators are not responsible for:

Writing the Consolidated Appeal. Organising the administrative/logistical details of the workshop. Developing from scratch the agenda and workshop content.

WH A T C O S T S A R E I N V O L V E D? The members of the IASC have agreed to pay the cost of facilitators sent from their own organisation. This includes travel and daily stipend allowance (DSA). However, when the facilitator is an OCHA staff member, the local OCHA office will cover the costs of travel and DSA. OCHA field offices were requested to include such costs in their annual budget. In the event that the OCHA office does not have sufficient funds, contact the CAP Training Coordinator to explore alternative arrangements. In addition, the OCHA field office is expected to either cover the following costs directly, or make in-country arrangements for cost sharing.

Workshop costs include:

The rental of the workshop location and any necessary equipment Lunch for the participants and tea/coffee breaks Receptions related to the workshop/Executive Brief Workshop materials and equipment Photocopying workshop materials

6


SECTION

2

A G U I D E T O O R G A N I S I N G A C A P

W O R K S H O P “When does training have an impact? When training responds to what participants want to know; the goals are clear; participants are well targeted; there is responsible organisational support of the objectives of the training and there is follow-up” – Emma Jowett, Training Focus, UK

We strongly suggest you plan the workshop two to three mounths in advance!

ST E P I : DE F I N I N G WO R K S H O P OB J E C T I V E A N D SE T T I N G

T H E AG E N D A The OCHA field office works with the CAP Training Coordinator and the CAP Facilitators to define the objectives of the workshop and determine the agenda. To the extent possible, this should be done in consultation with key partners in country. You may wish to review the CAP training materials on-line, to get a better sense of what is, and what is not available. The training materials can be found at www.reliefweb.int/cap. Defining the workshop objectives is key to determining the content of the workshop. When defining objectives, ask yourself and other key humanitarian actors: What do we want to be able to do, or have done by the end of the workshop? Do not just think in terms of outputs. Also consider the knowledge you would like to impart (e.g. the CAP is a strategic planning tool and a fundraising tool), the skills you would like to develop (e.g. how to use the Financial Tracking System); and the attitudes you would like to foster (e.g. working together collaboratively improves accountability). ST E P I I : IN V I T I N G T H E P A R T I C I P A N T S Invitations should be sent in the name of the UNHC to Directors of organisations at least one month before the CAP workshop. It is extremely important to compile a good invitation list and to spend time to make sure that the people attend. Registration forms should be included with the invitation letter. The registration forms include important information for the CAP Training Team on the experience of the participants. This information is critical for designing the workshop content. Model invitation letters and registration forms can be found in Annex II and III.

7

http://www.reliefweb.int/cap


ST E P I I I : LO G I S T I C S A N D AD M I N I S T R A T I O N Choosing the venue The OCHA field office is responsible for selecting an appropriate venue. The workshop facility needs to be big enough for up to 40 people. The big room should be able to accommodate up to five smaller working groups. If it is not big enough, it may be necessary to book 2-3 extra small rooms. The workshops are usually non-residential (although you may decide to provide the funding to make it residential to encourage participation from remote or under-funded organisations). The venue should be modest, quiet and easily accessible. One large room is required with five tables of eight people (for group work) and all participants should have a good view of a central presentation area and of each other. Experience has shown that it is better to arrange the meeting away from participants’ offices so that they cannot leave on the coffee/lunch break. Also, plan to serve lunch on the premises to keep up the momentum of the discussions. Catering Good facilities for lunch and tea/coffee breaks should be available at the venue. Arrange for tea and coffee at breaks (2 per day). If possible provide coffee in the morning, before the workshop begins. This encourages participants to be on time, and it wakes them up! Contract a suitable catering facility for lunch. Meals should be light and served relatively quickly. Make sure participants and serving staff know what is included in lunch, and what is not (e.g. alcoholic drinks). Drinking water and glasses should be available during the workshop sessions Technical Support The workshop venue needs to be properly equipped. Locating, arranging and hiring workshop equipment is essential to the smooth running of the workshop. A checklist of typical workshop supplies can be found in Annex VIII. Transport Participating organisations are responsible for the transport, accommodation and meals (except lunch) of their representatives. Hosting the CAP Facilitators The OCHA field office is responsible for selecting and reserving appropriate accommodation for the CAP Facilitators. Local transport should also be arranged and provided (car and driver) and transfer from and to the airport. Visa assistance and contact with local authority should be provided when necessary. Also, be sure to get security clearance if this is required. Ideally, support to the facilitation team and office space with access to email and telephone is organised in the offices of the OCHA field office. ST E P IV : CO N F I R M I N G PA R T I C I P A N T S Collecting responses Registration forms should be sent back to the OCHA field office as confirmation of the final list of participants.

8


If little response has been received, the Head of the OCHA office may be required to telephone agencies that have not responded to raise awareness and to ensure that the appropriate person attends. This process should be initiated at least 2 weeks before the workshop date. The registration forms include important information about the participants’ CAP knowledge and experience. They can help to inform the content of the workshop (e.g. if participants are new to the CAP, then more time is needed for introduction of the CAP). Make sure the registration forms are shared with the CAP Facilitators upon their arrival. Preparation of handouts and workshop material Relevant materials related to the workshop may be sent from the CAP Section and should be photocopied by the OCHA field office. Pre-workshop reading material To make the most of the workshop, participants should come prepared. Two-three weeks before the workshop, the OCHA field office should send participants—as well as facilitators--pre-workshop reading materials. THESE MATERIALS SHOULD ALSO BE AVAILABLE DURING THE WORKSHOP! These should include documents such as:

The Consolidated Appeal from the previous year, The most recent Mid-Year Review of the CAP, Reports from major recent inter-agency assessments, monitoring missions, and strategy

discussions, Copies of the previous years’ and current financial tracking information for the country

(available from www.reliefweb.int/fts). Key Common Country Assessment (CCA) and UN Development Assistance Framework

(UNDAF) documents, National constitution.

ST E P V : FA C I L I T A T O R S B R I E F I N G M E E T I N G S Facilitators usually arrive in the country a few days in advance to familiarise themselves with the main issues specific to the area. The political, social and historical context for humanitarian action needs to be discussed in a few short meetings with leading agencies and with relevant local actors. The meetings are to be organised by the OCHA field office. The meetings should involve key humanitarian professionals who best know what the issues are in the country. The facilitators should hold at least one meeting with the UNHC to better understand his/her perspective on the CAP and the humanitarian situation in country. This briefing process is extremely important to ensure that the workshop is contextualised to local/regional issues.

Issues to be discussed during facilitators’ orientation should include:

Existing humanitarian coordination mechanisms in country, and gaps Country’s past CAP experience Role of Government and donors in the CAP Other strategic planning / fundraising processes in country (e.g. CCA/UNDAF) Key human rights issues of concern to humanitarian operations Any other key information

9



ST E P VI : TH E WO R K S H O P Workshop Management During the actual workshop, the OCHA field office should provide at least two staff to support the facilitation team. One should be the CAP Workshop Focal Point. S/he plays a critical role in providing substantive inputs and feedback to the Facilitators on the dynamics between participants, and relevance of content to the local context. The Workshop Focal Point works with the Facilitators to adjust the workshop agenda/content as required to meet participants’ training needs. The second staff member provides administrative and logistics support. This person is responsible for photocopying training materials, ensuring that workshop supplies (pens, paper, markers, etc.) are available, arranging for catering; and other tasks as required. A person should also be available to deal with technical problems with computers, overhead projectors, etc. Workshop Evaluation Workshop evaluation is crucial to learning lessons and improving the CAP Training Programme. All evaluations are forwarded to the CAP Training Coordinator in Geneva, who prepares an annual report on the CAP Training Season outlining key lessons learned and recommendations. Feedback also helps point to areas for improvement in the training tools. Evaluation should occur at three levels:

Participants evaluate the workshop on the final day (see evaluation forms in Annex VI). The Host Organisation should keep one copy of these evaluations, and another should be given to the Facilitators.

The OCHA field office should provide constructive feedback to the facilitators and the CAP Training Coordinator on the support received in organising the workshop and the content.

Facilitators prepare a lessons learned workshop report focusing on what worked and what didn’t work in terms of training. This is shared with the OCHA field office.

ST E P VI I : AF T E R T H E W O R K S H O P (1 -3 W E E K S) The OCHA field office is responsible for ensuring that a workshop report is produced which captures the main discussion points, areas of consensus, and agreed follow-up actions. The OCHA field office distributes the workshop report and action points to all participants, Heads of Agencies and any other relevant actors. The facilitators will also jointly prepare a report, focusing on what worked, and did not work in the workshop and recommend modifications to the training material. This feeds into the ongoing review and revision of the CAP training materials. The CAP Training Coordinator in Geneva provides support as appropriate for any local initiatives or processes that come from the workshop.

10

ANNEXES

3

S U G G E S T E D C O M M U N I C A T I O N

M A T E R I A L , T I M E T A B L E A N D

C H E C K L I S T S

The templates The following annexes document templates are also available electronically on ReliefWeb at www.reliefweb.int/cap. Please feel free to modify them to better suit your needs.

1. Summary: who does what

2. Invitation letter

3. Registration form

4. Generic CAP Field Focal Point Terms of Reference

5. Sample workshop agenda

6. Workshop evaluation form

7. Organising the Workshop- Checklist

8. Detailed checklist of equipment and supplies

9. Workshop report template (for OCHA Field Office)

10. Facilitator’s report template (for CAP facilitators)

11

http://www.reliefweb.int/cap

ANNEX 1

S U M M A R Y : W H O D O E S W H A T RESPONSIBILITIES OF THE CAP TRAINING COORDINATOR IN GENEVA:

Providing the How to Organise a CAP Workshop guide and assisting in all different phases of the preparation, as needed.

Working with CAP Facilitators and Host Organisations to prepare and modify the content of the workshop to assure it is appropriate to local issues.

Collecting feedback from participants, facilitators, and OCHA field offices to ensure quality control and continuous improvements to the training programme.

Identifying the facilitators for the workshop, in coordination with the Host Organisation. RESPONSIBILITIES OF THE CAP TRAINERS:

Facilitating at least one CAP workshop per year. Reading all pre-workshop reading material before arrival. Arriving two days before the workshop to plan the agenda. Working with the Host Organisation to prepare and modify the content of workshop to assure it

is appropriate to local issues. Facilitating the workshop. Documenting key points during the workshop and feeding these back to plenary. Accepting constructive feedback from participants and modify the workshop agenda/content as

needed. Within two weeks of the workshop, jointly preparing a “Facilitators Workshop Report” on lessons

learned, focusing on what worked and what didn’t in terms of training, and proposing constructive modifications.

RESPONSIBILITIES OF THE OCHA FIELD OFFICE

Appointing a CAP Workshop Focal Point in charge of all workshop arrangements, and providing additional support staff during the workshop.

Working with the CAP Training Coordinator and workshop facilitators to define workshop objectives, agenda and content.

Organising a post-workshop Executive Brief for the Heads of Agency. Identifying and inviting participants. Distributing key pre-workshop reading materials to participants. Arranging all administrative/logistics details of the workshop (see checklist in Annex VII). Organising briefing meetings for facilitators upon their arrival. Rounding up participants and getting them to meeting room on time Preparing a “Workshop Report” outlining the key discussion points, areas of consensus, and

agreed follow up actions. Spearheading workshop evaluation and ensuring follow up on agreed-upon actions after the

workshop. RESPONSIBILITIES OF THE PARTICIPANTS

Providing their own travel arrangements, meals and accommodations if necessary. Actively participating and committing to learning. Committing to sharing with their colleagues what they learned during the workshop

12

ANNEX 2

I N V I T A T I O N L E T T E R OCHA Letterhead

To: The Agency Director Subject: Consolidated Appeals Process Workshop Dear, I would like to invite your organisation to participate in an inter-agency Consolidated Appeals Process (CAP) Workshop that we are hosting on ……. In ………… CAP workshops bring together diverse humanitarian partners to discuss, and come to agreement on key elements of the Common Humanitarian Action Plan (CHAP), in preparation for the upcoming Consolidated Appeal. The outputs from the workshop often form the basis for the common humanitarian strategy which appears in the annual Appeal document. The workshops can also serve as a catalyst to the Consolidated Appeal Process, clarifying each organisation’s role, and defining a clear course of action for preparing the Appeal. We will host two events: (1) A three-day training workshop oriented towards CAP Focal Points from the key

humanitarian organisations, including the United Nations, the Red Cross Movement, key NGOs, Government and donor representatives. The CAP Focal Points should have clearly defined roles and designated authority to represent their organisation’s interests in all CAP-related discussions. They will be responsible for all CAP-related activities, such as production of the Consolidated Appeal, monitoring the Common Humanitarian Action Plan, and reporting to donors through the Mid-Year Review of the CAP. If you have not done so already, I would encourage you to designate a CAP Focal Point, and I have attached a Terms of Reference that may be used to define this role.

(2) A 2-hour Executive Brief to present the workshop outputs (i.e. elements of the CHAP) to

senior officials, enabling them to express their support for the strategy, or if necessary, to refine or refocus the strategy.

I trust you will agree with me that this is an important initiative. I would be grateful if you could confirm your participation and hand the registration form to the person you would like to designate for the workshop. Thank you for your interest and we look forward to a rewarding discussion. Sincerely, United Nations Humanitarian Coordinator

13

ANNEX 3

C A P W O R K S H O P R E G I S T R A T I O N

F O R M

DATE …………………. VENUE ………………… START TIME ……………….….. Facilitators: …………………… Please complete and return this form to: Attn.: Address: Name: ______________________________________________________________________________ Job title:_____________________________________________________________________________ Organisation: ________________________________________________________________________ Address ____________________________________________________________________________ Telephone: _____________________________ Fax: __________________________________ E-mail: ________________________________ a) List briefly your previous experience in the CAP ___________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ b) Explain your current role in the organisation and your current involvement with the CAP. ____________________________________________________________________________________ ____________________________________________________________________________________ ____________________________________________________________________________________ c) Do you have any special needs? (For example, dietary; access; timing) _______________________ ____________________________________________________________________________________ Signature: ___________________________________ Date:___________________________ Please be sure to obtain and review pre-workshop reading materials prior to the workshop.

14

ANNEX 4

G E N E R I C T E R M S O F R E F E R E N C E :

C A P F I E L D F O C A L P O I N T S

(the TOR can be modified to adjust to local conditions)

CAP Field Focal Points are appointed by their Head of Office to represent their organisation’s interests in all CAP-related discussions and events, especially discussions related to setting, monitoring and evaluating a common humanitarian strategy. The seniority of the CAP Focal Point should correspond to the responsibility entrusted to them. The CAP Field Focal Points should include representatives from among the key humanitarian organisations / entities in a given emergency. The Focal Points should mirror the membership of the Inter-Agency Standing Committee (IASC), which includes the Red Cross Movement and key NGOs. The CAP Field Focal Points should also include key humanitarian actors from the Government and donor community. In some countries, CAP Field Focal Points have also represented beneficiary groups and Bretton Woods Institutions. Together, the CAP Field Focal Points comprise the CAP Country Team. The CAP Country Team is active year-round for all CAP-related discussions and activities, such as developing the Common Humanitarian Action Plan (CHAP), producing the Consolidated Appeal, monitoring the strategy, evaluating programmes, revising the Appeal document if necessary, and reporting to donors through the Mid-Year Review of the CAP. The CAP Country Team should not be a parallel coordination structure. Instead, it should complement existing coordination mechanisms under the auspices of the Humanitarian Coordinator who bears overall responsibility for the CAP. As a member of the CAP Country Team, the CAP Field Focal Point’s responsibilities include:

1. Actively participating, and representing their organisation’s interests in all CAP-related discussions and events.

2. Ensuring that they are thoroughly briefed on their organisation’s internal CAP guidelines and procedures.

3. Briefing their Head of Office, and other relevant staff, on all CAP proceedings. 4. Ensuring harmonisation between CAP and other coordination, programme planning and

resource mobilisation mechanisms of the UN system and its partners at field level. 5. Ensuring adherence to deadlines as well as quality control of the CA document. 6. Performing any other relevant duties related to CAP/CHAP as may be assigned.

15

E X A M P L E O F A G E N D A CAP Workshop:

Developing the Common Humanitarian Action Plan

12-14 June 2001 Katarina Hotel, Moscow, Russian Federation

Facilitators: Toby Lanzer, CAP Trainer, OCHA Gretchen Bloom, CAP Trainer, WFP DAY ONE

Date Time Topic Participants 8:30am 9:00am -- 1:00pm

Coffee Welcome by the Humanitarian Coordinator. Introduction to the CAP. Coffee Diagnostic on coordination mechanisms Monitoring and evaluation Lunch

2:30pm – 5:30pm

Human rights and Humanitarian Principles Coffee Humanitarian context analysis

Tuesday, 12 June

5:30pm Reception

CAP Focal Points from key humanitarian organisations, Government and donors

DAY TWO

Date Time Topic Participants 8:30 9:00am –12:30pm

Coffee Capacities and vulnerabilities analysis Coffee Scenario building Lunch

Wednesday, 13 June

1:30pm – 5:30pm

Setting Strategic Goals Coffee Actor mapping


DAY THREE

Date Time Topic Participants 8:30 9:00am –12:30pm

Coffee Developing sector plans Coffee Lunch

Thursday, 14 June

1:00pm – 5:30pm

Developing sector plans (cont.) Coffee Projects Action mapping


DAY FOUR

Date Time Topic Participants Friday, 15 June 9:00am –

11:00 p.m.

Executive briefing on workshop outputs Heads of Agencies, senior Government and donor officials

ANNEX 5

16

ANNEX 6

C A P W O R K S H O P E V A L U A T I O N F O R M

IINNSSEERRTT PPLLAACCEE OOFF WWOORRKKSSHHOOPP IINNSSEERRTT DDAATTEE OOFF WWOORRKKSSHHOOPP

Organisation (optional):________________________________________

Evaluation vis-à-vis the Workshop Objectives Overall objectives of the Workshop: • Objective one • Objective two • Objective three

☺ 4 – 3 – 2 – 1 ☺ 4 – 3 – 2 – 1 ☺ 4 – 3 – 2 – 1

Evaluation by session: Day 1 Session I [NAME OF SESSION, and facilitator] (e.g.) Introduction to the CAP by Wendy Cue Comments:

☺ 4 – 3 – 2 – 1

Session II Comments:

☺ 4 – 3 – 2 – 1

Session III: Comments

☺ 4 – 3 – 2 – 1

Session IV: Comments:

☺ 4 – 3 – 2 – 1

Day 2 Session I Comments:

☺ 4 – 3 – 2 – 1

Session II

☺ 4 – 3 – 2 – 1

Session III:

☺ 4 – 3 – 2 – 1

Session IV:

☺ 4 – 3 – 2 – 1

17

Day 3 Session I Comments:

☺ 4 – 3 – 2 – 1

Session II

☺ 4 – 3 – 2 – 1

Session III:

☺ 4 – 3 – 2 – 1

Session IV:

☺ 4 – 3 – 2 – 1

Globally… Have your expectations been met? Comments:

☺ 4 – 3 – 2 – 1

What will I now do in my role to improve my contribution to the CAP? Facilitation: Please provide comments/suggestion that could help us improve the facilitation of the next workshops:

☺ 4 – 3 – 2 – 1

Organisation: Please provide comments/suggestion that could help us improve the organisation of the next workshops:

☺ 4 – 3 – 2 – 1

Please circle three words that best sum up your overall opinion of this workshop: Interesting Challenging Exciting Revealing Fascinating Entertaining Boring Confusing Difficult Basic Clear Easy Realistic Practical Theoretical Irrelevant Waste of time Stupid Innovative Complicated Enjoyable Valuable Inspiring Unfocussed Rushed Thorough Stimulating Exhausting Nothing new Useful Comprehensive Over-ambitious Changed my life Thought-provoking

18

ANNEX 7

O R G A N I S I N G T H E W O R K S H O P -

C H E C K L I S T

Two months before the workshop: Decide to host the workshop

Decide with the Humanitarian Coordinator and major humanitarian organisations to hold a CAP Workshop

Discuss with Humanitarian Coordinator establishing a CAP Country Team, if not done so already.

Humanitarian Coordinator appoints CAP Workshop Focal Point to be responsible for all aspects of the workshop

CAP Workshop Focal Point contacts CAP Training Coordinator in Geneva to discuss the type of workshop you want to run (regional or local/ downtown or in quiet location/ Residential or non-residential/two or three days)

Fix a date in consultation with CAP Training Coordinator

Discuss availability of CAP Trainers

Discuss costs with the Humanitarian Coordinator and the CAP Training Coordinator Define workshop objectives and set the agenda

Discuss with CAP Training Coordinator the content of the CAP training material, and to determine what is available, and what is not, or visit the CAP website at www.reliefweb.int/cap.

Define with Humanitarian Coordinator and key humanitarian actors the main objectives of the workshop: what do you hope to achieve by the end of three days?

Share the workshop objectives and proposed content of workshop with the CAP Training Coordinator.

When CAP facilitators arrive in country, finalise agenda and content of workshop. One month before the workshop: Invite the participants

Brainstorm with Humanitarian Coordinator on the CAP Focal Points that should be invited to each of the two workshop events (i.e.: Executive Brief and three-days Worksop)

Discuss the participants list with the CAP Training Coordinator

Send out invitation letters + registration forms

19

Logistics and administration

Appoint one person for administration, logistics and technical support

Identify and book a large main room with tables and chairs

Book 2-3 separate committee rooms for small group work

Organise facilities for coffee/tea breaks and lunch, and (if required) reception

Verify availability of: screen, data projector for computer presentations, overhead projector, 3 flipcharts and markers

Arrange visas for CAP facilitators

Arrange security clearance for CAP facilitators (if required)

Accommodation, office space and local transport organised for facilitators

Two weeks before the workshop: Confirm the participants

Follow up with phone calls if no response to invitation

Registration forms from participants collected

Share registration forms with CAP Facilitators

Send pre-workshop reading materials to participants. Materials should include: o The Consolidated Appeal from the previous year, o The most recent Mid-Year Review of the CAP, o Reports from major recent inter-agency assessments, monitoring missions, strategy

discussions, o Copies of the previous years’ and current financial tracking information for the country

(available from www.reliefweb.int), o Key documents from the CCA/UNDAF o National constitution

Organise facilitators’ briefing One week before the workshop:

Reminder phone call to participants

Lunches and coffee/tea breaks confirmed with catering

Handouts photocopied (including pre-workshop reading materials which should be available at workshop)

Participant workshop binders prepared and include: o Workshop objectives o Workshop schedule o List of resource persons o List of participants o Administrative information o Session-by-session materials such as discussion points, extra reading materials o Evaluation forms

20


Day before facilitators arrive in the country

Arrange pick up from airport

Confirm accommodation and local transport

Prepare agenda for facilitators

Facilitators’ briefings confirmed

Confirm workshop support staff Just Before the workshop

Workshop materials

Equipment functioning

Handouts in place (including pre-workshop reading materials!!)

Room lighting

Room temperature

Toilet facilities and supplies

Drinking water and glasses

Group work rooms

Coffee break area

Name tags On the Workshop day

Participant registration at the workshop event

Binders distributed Last Day of the Workshop

Evaluation form xeroxed

Evaluation done

Contact details distributed

Action plan distributed

After the workshop: Host organisation writes and distributes substantive workshop report

Facilitators produce “lessons-learned on training” report

Both reports forwarded to CAP Training Coordinator in Geneva

21

ANNEX 8

D E T A I L E D C H E C K L I S T O F

E Q U I P M E N T A N D S U P P L I E S

Durables

Tables and chairs to accommodate groups, trainers, resources and materials

Drinking glasses and bottles of water

Small tables for projectors and other equipment

3Flip charts

Overhead projector

Laptop computer and projector for PowerPoint presentations

Printer

Screen for projection, or wall

Extension cords and plugs

Access to photocopier

Staplers

2-3 pairs of scissors

Paper punchers appropriate for binders being used

Rulers Consumables

Paper for flip charts (2 pads per easel)

Overhead projector transparencies

3 different colours of paper or cards (50 pieces each)

Thick felt-tip marker pens (50 in total, preferable 3-4 different colours)

Writing pads for each participant with some spare ones

Pens for each participant with some spare ones

Name tags (clip on or on table)

Staples

3-5 reams of photocopy paper/printer paper

Masking tape (4-6 roles, one centimetre wide is best)

Sellotape/scotch tape (6 roles)

3-5 glue sticks

10-12 packages of post-its

22

ANNEX 9

W O R K S H O P R E P O R T T E M P L A T E Purpose: Within one week (maximum) of the end of the workshop, OCHA Field Offices should prepare a report outlining the key discussion points, areas of consensus and agreed follow up actions. The document can help to ensure buy-in from stakeholders, or senior officials who did not participate in the workshop, and can chart a clear course of action for preparing the CHAP and Consolidated Appeal. At a minimum, the report should include the following headings: I. An outline of the content of the workshop: e.g. workshop objectives, the main topics of

discussion II. Key outputs from the workshop: e.g. agreement on scenarios, strategic goals, an action

plan III. An action plan: e.g. the road map for producing the CHAP and Appeal documents; clear

articulation of roles and responsibilities. A sample workshop report is below.

23

Summary Report on the CAP Facilitation Workshop on 20-21 June 2002 in Yogyakarta, Indonesia

OCHA (Geneva and Indonesia) organised/facilitated a two-day CAP facilitation workshop in Jogjarkarta, Indonesia on 20/21 June 2002. Twenty-seven representatives from the Government (Bakornas PBP), donor countries, UN agencies and NGOs attended the workshop. The objectives of the workshop were: 1) to review the current humanitarian strategy for Indonesia and identify areas for improvement; 2) to propose inputs for the humanitarian strategy in 2003; and 3) to develop an action plan for finalising the humanitarian strategy with clear roles and responsibilities. During the exercises/discussions on the first day, it became evident that participants wished to focus more on practical issues, namely the process of developing a Common Humanitarian Action Plan (CHAP) rather than actual contents of the CHAP and the Consolidated Appeal (CA). The agenda for the second day was revised accordingly. As a result, the second objective became less applicable. The workshop was highly participatory and was open to frank discussions. Participants expressed concerns over the current CHAP/CAP, which included: Lack of involvement of the Government (GoI) and local civil societies in the CHAP process and low common ownership of the CHAP by all stakeholders; weak context/situation analysis resulting in weak strategy and prioritisation; disconnect between nation-wide and regional objectives/plans, and disconnect between those plans and each project; lack of inter-sectoral linkages and lack of promotion of fundamental human rights; and lack of long-term objectives and planning resulted in lack of linkages to capacity building. The participants agreed on (potential) added value of CHAP/CAP as a tool to ensure coordinated/cooperative development of common humanitarian strategy, advocacy and resource mobilisation. The workshop led to a series of recommendations for improving CHAP/CAP as a meaningful and valuable coordination tool. An Action Plan for designing and leading the CHAP process for 2003 was developed for immediate discussion among stakeholders. Below are some of the key points/conclusions and an Action Plan from the workshop. 1. Coordination • Strengthen and streamline coordination at all levels, especially at provincial levels.

It was strongly recommended to reduce the number of meetings. It was suggested to replace the WFP Food Aid Coordination meeting by a bi-weekly OCHA led meeting focusing on substantive/thematic issues (including information sharing) and establish a quarterly OCHA led strategy/policy meeting. Field level meetings, especially where a UN Resource Centre does not exist, were encouraged. Coordination meetings at the field level should also discuss more policy related issues and points of common concern. It was recommended that the results of those meetings should be shared with central level. Informal meetings outside office were also suggested.

2. Scope and content of the CHAP/CAP • Make the CHAP/CAP more inclusive of key stakeholders (e.g. Government, both at central

and provincial/district level, IDPs, host communities): It was suggested to enhance consultation with all stakeholders, particularly with the GoI and local civil societies (at central and provincial levels) to ensure a coherent approach across the provinces. It was also recommended the development of CHAP/CAP should involve a

24

wider range of the humanitarian community, including donors, Brettonwoods institutions, the Red Cross movement and NGOs.

• Strengthen analysis in CHAP and establish nationwide overarching strategic goals based on cross-cutting and common issues across the provinces

CHAP should provide a nationwide in-depth analysis of conflict affected/prone areas, identifying common concerns and/or priorities that could be addressed through establishing a set of overarching strategic goals (better to involve local NGOs, academic institutions and think tanks, etc.). • Establish clear linkages between nationwide strategies/goals and regional/provincial

strategies and goals Regional analysis should provide a brief summary of the context and should help set priorities and strategies that are linked to the nationwide priorities and strategies. The projects that would be included in the CAP should be in line with identified priorities and established common strategies. It was also suggested that more emphasis be placed on themes rather than sectors and that UN agency and NGOs’ projects may be grouped as a programme addressing a theme or sector in a region –rather than as separate projects (NB Sectoral approach would be needed for financial tracking purposes) • The CHAP/CAP should address the needs of conflict affected population as opposed to the

needs of IDPs alone or those of urban poor. • Duration of the CHAP – it was also discussed whether the CHAP should cover more than a

year, while the projects may cover annual needs.

• Ensure that humanitarian programmes in Indonesia protect fundamental rights Protection, including training of international human rights law and international humanitarian law, could be one of the themes for CHAP in relation to the point above.

• Develop common standards for assistance through joint monitoring, analysis and needs assessments, particularly in the areas under-served. More advocacy to agree on a minimum standard with GoRI, taking into account the living standard of non-IDPs and SPHERE standards is essential.

3. Responsibilities of various stakeholders Government (GoRI) is responsible for developing clear policies and plans that the international community can support. Donors, UN agencies and NGOs expect GoRI to be actively engaged in the CHAP process, especially in setting priorities, ensuring complementarities of the CHAP and its own plan. It was also suggested that GoRI resources allocated for humanitarian relief be included/reflected in the CHAP/Cap so that complementarities of the programmes are ensured.

Donors are responsible for participating in the development of the CHAP/CAP, advocating funding for programmes included in the CAP, and liaising with the respective HQs in a coordinated manner to promote their understanding of the CHAP. Donors are expected to be straightforward during the process and give feedback especially to strategies/priorities. Funding support for jointly agreed priorities activities/projects is expected as well.

The UN system is responsible for coordinating, advocating and leading the CHAP/CAP process. Joint decision making vis-à-vis prioritizing projects/areas was encouraged. The UN system is expected to spearhead and proactively interface with GoI, upholding humanitarian related matters, especially promotion of international human rights law and humanitarian law.

25

NGOs are responsible for participating in the CHAP process (especially assessments and analysis) and develop projects aligned with clear strategies. (In this regard, it was suggested that CAP should only include priority projects clearly in line with the CHAP). NGOs are expected to advocate and reflect the needs of communities in the process.

Future direction – Action plan for the CHAP/CAP 2003

• The Inter-Agency Standing Committee Country Team (IASCCT) to be established. The team composition replicates the HQ based IASC. The first meeting of this structure to be held during the week starting 23 June 2002 (possibly on 26 June Wednesday).

• The IASCCT and GoRI to agree on the scope of the CHAP/CAP for 2003 (i.e. focus on

IDPs or conflict affected population) – immediately

• Establish a Steering Committee (SC) on the CHAP/CAP consisting of donor, UN and NGO representatives (operational level) to be chaired by OCHA. SC will be responsible for designing an inclusive process agreeable to all stakeholders and ensuring development of CHAP and CAP document on time. A draft Terms of Reference for SC to be prepared by OCHA and submitted to the IASCCT for endorsement during the week starting 24 June. SC to be established and the first SC meeting to be held by 12 July (Friday). SC is responsible to oversee the development and implementation of an action plan, while OCHA acts as a secretariat.

• An Analysis Task Force (ATF) to be established (ToR to be formulated by SC) – by 19

July (Friday). The ATF, in consultation with all stakeholders, will analyse humanitarian situations in Indonesia, lead needs assessments and develop themes/strategic goals – by 16 August (Friday).

• Based on the findings of ATF, SC and the IASCCT to agree on priority areas of activity

and formulate and agree on the CHAP– a first draft to be circulated by 27 August (Tuesday) (comments by COB 30 August (Friday)).

• SC to determine priority areas of activity and submit them to the IASCCT for

approval/endorsement by 3 September (Tuesday). By 5 September (Thursday), the IASCCT to circulate approved priorities to all stakeholders for their preparation of projects.

• Projects for inclusion in the CAP for 2003 to be submitted – by 16 September (Monday).

• A first draft CAP to be prepared and circulated by 24 September (Tuesday).

• CHAP/CAP Finalisation Workshop (in Yogyakarta) on 25-27 September.

• Finalisation and Submission of CHAP/CAP on 30 September 2002.

26

ANNEX 10

F A C I L I T A T O R ’ S R E P O R T

T E M P L A T E

Purpose: Within two weeks (maximum) of the end of the workshop, CAP facilitators should jointly prepare a 2-3 page report focusing on lessons learned, focusing on what worked and what didn’t in terms of training and facilitation, and proposing constructive modications to the training material or methodology. At a minimum, the report should include a review of lessons learned in the following areas: IV. Workshop organisation V. Workshop participation VI. Sessions / activities that worked particularly well, or particularly badly VII. A summary of participants’ evaluation of the workshop A sample workshop report is below.

27

FACIL ITATORS’ REPORT

CAP WORKSHOP, DPRK

12-14 JUNE 2002, PYONGYANG, DPRK Aimee Wielechowski of the CAP and Donor Relations Section of OCHA Geneva and Toby Lanzer, Head of the OCHA Office in the Russian Federation facilitated the CAP workshop in DPRK from 12-14 June 2002. Due to the infrequency of flights to Pyongyang, the facilitators arrived on 8 June. Workshop preparation with the OCHA field office (FO) team and the Humanitarian Coordinator took place on 10-11 June. The two and a half day workshop was immediately followed by an Executive Briefing, attended by Heads of UN agencies, ambassadors from donor missions, NGOs and the Red Cross Movement. The following report is intended to capture lessons identified from the workshop and the Executive Briefing from the facilitators’ perspective. This report is intended as a guide for other CAP facilitators. SUMMARY OF KEY LESSONS LEARNED

OR G A N I S I N G T H E W O R K S H O P 1. Good administrative and logistics preparation well in advance of the workshop is critical to

ensure that the facilitators can maximise their limited preparation time in country and focus on workshop content. The preparation of the workshop content was hampered by the absence of the OCHA Head of Office, who had been medically evacuated the week prior and was unable to return to Pyongyang until the night before the workshop. Despite this, planning went relatively smoothly thanks to good logistics preparation by the OCHA FO before the workshop, and telephone conferences with the Head of Office.

Many of the other lessons identified on workshop organisation are similar to those identified in other countries where CAP workshops have taken place. The key lessons are as follows: 2. The CAP workshop can be an opportunity to build consensus around strategy, provide a

clear mandate for moving forward on key issues, and motivate other actors to get more involved in the process. As such, the workshop, if planned and followed-up effectively, can be an important catalyst for the CA Process. It can also be an opportunity for the Humanitarian Coordinator and OCHA to demonstrate their leadership in the process. Therefore, OCHA FOs are encouraged to “own” the workshop and accordingly invest the time and resources necessary to define clear objectives and expected outputs which have been discussed with and agreed to by key donors, UN agencies, the Red Cross movement, and the main local and expatriate NGOs. This should be done well in advance of any workshop. However, the demands on the FO often work against effective advance planning. CAP Facilitators are also often unable to focus on the workshop until the day they arrive.

3. The two-day planning process demonstrated the need for CAP facilitators to approach the

CAP training tools flexibly and creatively. Each country context is different, and each team will have different training needs. The tools must be adapted to suit the needs of the people in the room. Therefore, it is critical to find out as much as possible about the participants‘ expectations before hand.

4. Training needs analysis, conducted jointly by the OCHA CAP and DR Section, facilitators

and the OCHA FO prior to the workshop, is critical to ensure that the workshop is targeted 28

and relevant to the participants in a particular country. Before agreeing to conduct a workshop, facilitators and OCHA FOs should ask:

• • • •

• • •

⇒

⇒

⇒ ⇒

⇒

What is the added value of this workshop? What are the objectives of the workshop? What would happen if the workshop did not take place? What knowledge, attitudes and/or skills should participants have after the workshop is over? What outputs do we need? Who would be the ideal participants? Can the workshop objectives be achieved without having a workshop?

PA R T I C I P A T I O N 1. For the first time in DPRK, the Government officially participated in a CAP workshop. A

representative from the Flood Damage Rehabilitation Committee (FDRC) attended the workshop, and, during the Executive Briefing, made a brief statement expressing support for the workshop conclusions. The FDRC highlighted the following:

The workshop helped deepen the Government’s knowledge and understanding of humanitarian organisations working in DPRK. The Government would “do its best” to meet the needs of their people and support agencies’ work. All humanitarian programmes should be guided by Government policy. The CAP should serve as a guide for prioritising the humanitarian programme in DPRK. The Government seeks to strengthen its own capacity to deal with humanitarian emergencies.

2. Donor participants were enthusiastic and constructive. Donor representatives were from

Germany (the Ambassador attended the entire workshop), ECHO, the UK and Italy. A key, an unexpected output, from the workshop, was expressed donor commitment to improve donor coordination in DPRK and advocate to their capitals to support the humanitarian strategy in the Consolidated Appeal. Donors called on humanitarian organisations in DPRK, including NGOs, to engage them more actively in discussions of humanitarian strategy and fundraising.

3. NGOs were well represented at the workshop, but appeared to have the least sense of

“ownership” of the humanitarian strategy. Based on participants’ evaluations of the workshop, several NGOs may have gained a better understanding of their potential role in the CA Process. However, it is clear that more needs to be done to engage NGOs in the process.

DU R I N G T H E W O R K S H O P Below are observations of sessions/activities that were novel and worked particularly well, or not. 1. The first exercise of the workshop was a debate. On flipchart, facilitators wrote: “The CAP

takes a lot of time and I’m not sure it’s worth it”. Participants were assigned a role to either support or refute the statement. This type of exercise helped to openly discuss known concerns among the CAP team that the CAP was time-consuming and yielded little practical results. By debating the issues, the group came to consensus that there are benefits of

29

working together to develop a coherent humanitarian strategy. These include: a more comprehensive understanding of needs in the country, better prioritisation of needs, aid agencies having one voice vis-à-vis the host government and donors, and efficiency of programmes.

2. CHAP “Vernissage.” The purpose of this exercise was to demystify the CHAP. It is a twelve

step planning process that is similar to many other planning processes used by individual organisations. Often, the difficulty in developing and implementing a CHAP is not the terminology used to describe the process, but coordination. This exercise allowed participants time to reflect, in small groups, on the coordination processes that need to take place at each step of the CHAP. Exercise ran as follows:

⇒ Preparation. 12 pieces of flipchart paper were taped on walls around the room, each

labelled with a step of the CHAP (e.g. “Context Analysis” or “Scenario Building.”) ⇒ Part I: Brainstorming. Participants were put in groups, which visited 4 of the 12 flipcharts

(for the sake of saving time) and thought about the coordination processes that need to take place at a particular step, and wrote these on the respective flipchart.

⇒ Part II: “Vernissage.” Groups then reviewed the remaining 8 flipcharts. Each group was given a set of stickers: 5 lightning bolts (indicating “We strongly disagree with this statement”); 5 question marks (indicating, “ We do not understand this statement”) and 5 happy faces (indicating “We strongly agree with this statement.”) Groups were asked to place an appropriate sticker next to an idea that they strongly agreed or disagreed with, or that they did not understand. The end result was a wall of visualised ideas, or a “vernissage” (art opening).

⇒ Part III: Plenary Discussion. Ideas marked with a question mark or a lightning bolt were discussed in plenary.

The exercise was appreciated by participants (see evaluation below), and also had the advantage of drawing on participant’s knowledge and experience. Throughout the workshop, outputs from the sessions were added to the vernissage. Prior to the last session of the workshop, on Action Planning, participants walked around the room and again reviewed all of the outputs as a way to begin thinking about next steps. 3. Rights and humanitarian principles: Discussion on rights is a sensitive topic in DPRK. As an

entry point to the discussion, participants were asked to reflect on a right they felt they had in the town where they grew up. These were written on cards. Following this, the Universal Declaration on Human Rights (UDHR) was distributed and participants were asked to find their right in the UDHR. The DPRK constitution was also referred to as a document which enshrines certain rights (e.g. education and health care). Small groups were asked to choose a right that was particularly important for the common humanitarian programme. Groups were then asked to consider whether or not the current humanitarian programme supports this right. If not, what needed to be changed. This “rights light” approach helped foster discussion on some contentious issues, such as international support for the decaying health care system, beneficiary participation in programme design, the need for improved monitoring, and targeting vulnerable families, rather then individuals. The session also helped participants identify a few rights that could underpin the common humanitarian strategy. The session was rated highly in participant evaluations (see below).

4. Roles and responsibilities: as an icebreaker, each table was given two minutes to construct

a tower using anything in the room. Groups were told that their tower would be judged on height and aesthetic beauty. The facilitators observed group dynamics (e.g. did the group plan? Did certain people dominate in a group? Was there consultation? Did groups just plunge into the task? Was the task achieved?), and commented on these in plenary. This was a great entry into the discussion on roles and responsibilities, which was conducted by breaking plenary into 3 groups (donors and government, UN, and NGOs and Red Cross).

30

Each group was asked to think about their roles and responsibilities on CAP and report back in plenary.

5. Capacities and Vulnerabilities in DPRK. The purpose of this exercise was to demonstrate

that despite obvious constraints on the humanitarian community in terms of access to beneficiaries and beneficiary participation, the international community knows a lot more then they think about the capacities and vulnerabilities of the population. Participants were asked to brainstorm on who is vulnerable in DPRK. Based on this list, the group selected one group on which to focus discussions, namely: under-employed urban families in DPRK. The entire discussion was done in plenary, in about 20 minutes. The group was asked to name the vulnerabilities of this particular group. Then, to name their capacities. Despite limited contact with this group, it was possible to determine that they have some known capacities (e.g. by observing balconies on apartment buildings, it is evident that families are raising rabbits or other small animals/birds, providing themselves with an additional source of food, and hides for other uses). The participants were encouraged to use this method for each of the vulnerable groups identified. Such brainstorming can be useful when planning projects to ensure that programmes support capacities as much as possible.

6. During the brief session on projects in the CAP, the facilitators emphasised the need to be

realistic. Project summaries in the Appeal are indeed only summaries. For every sector in the Appeal, agencies

should ask:

⇒ ⇒ ⇒ ⇒

⇒ ⇒

⇒

⇒

What is the overall situation in this sector? What are the needs? What are the priorities? Who is going to do what to meet them?

Generally, agencies in the Appeal are only meeting a small portion of the needs, and this should be stated

in the Appeal. An example was given to demonstrate the concept:

Total needs in the Health Sector of Country X = $58 million The Government, bilateral donors, the Red Cross, NGOs and the UN are all contributing to meeting the needs in this sector. The UN is appealing for only $7 million of the total, $58 million, some 12% of the total. If one UN agency appealed for a $12 million project in this sector, would this be realistic? Would it be credible in the eyes of donors?

Participants were asked, if Agency X wanted to put a $1 million project in the Appeal to support the health sector, what would be the criteria for whether or not it should be included? Learning point: there should be a clear link between Strategic Goals—Sector Objectives—Projects. If this link is not there, the project should not be included. Other criteria include the capacity on the ground to implement the proposed project. It is damaging to the credibility of the CA Process if agencies with no, or limited presence and capacity appeal for money.

Finally, the facilitators noted that discussions with the donors should not begin when the project is in the CAP, but (as with context analysis, scenario building, strategic goals, and sector objectives) throughout the year. The donors themselves supported this approach.

7. “Donkey Bridges.” Throughout the workshop, participants were encouraged to think outside

the box. To support this concept, the facilitators made extensive use of an empty box as a prop to encourage participants to think creatively. Before some sessions, facilitators would

31

ask, while holding the box: “what is this?” For scenario-building, the box was a “crystal ball,” for strategic goals it was a “lighthouse” guiding the overall humanitarian strategy. In training-ease, the box served as a useful “donkey bridge,” a tool (e.g. an acronym or mnemonic) that helps participants recall learning points. Interestingly, participants—including the Government—themselves used the lighthouse metaphor when briefing executive heads after the workshop.

EX E C U T I V E B R I E F I N G 1. The Executive Briefing was as opportunity for workshop participants to brief their country

representatives and Ambassadors on key recommendations and outputs. The Briefing was organised two hours after the end of the workshop, and was conducted by the OCHA Field Office, with support from a representative group of workshop participants (one representative from the donors, the UN, the NGOs and the Red Cross).

2. In retrospect, the timing and organisation of the Executive Briefing may not have been ideal,

and consequently may not have been as effective as it could have been. Perhaps more could have been done before the workshop to find out what country representatives and donors expected from the Briefing, and, perhaps more importantly, to prepare them on what they were going to get. However, as mentioned earlier, the OCHA office was constrained in its preparations by the absence of the Head of Office, who had been medically evacuated the week before the workshop. In addition:

⇒

⇒

⇒

There was insufficient time to plan the Briefing immediately after the workshop and to clarify the key information that Executive Heads needed to know.

The presenters were perhaps suffering from "workshop amnesia,” i.e. when people are in a workshop for a few days, they tend to forget that the rest of the world has NOT been in the workshop. As a result, they tend to focus on details that were indeed important in the context of the workshop, but perhaps may not be so interesting to others, particularly Heads of Agencies. It may be better to host the Briefing the day after the workshop, to ensure adequate perspective on the workshop recommendations.

The presenters were tired. The workshop schedule was demanding, particularly for the OCHA office. The Briefing should be organised when the presenters can be at their best.

AW/TL/3 July 2002

32

R E S U L T S F R O M

P A R T I C I P A N T E V A L U A T I O N S

Topic Evaluated % response ☺ 4 – 3 – 2 – 1

4 3 2 1 A C H I E V E M E N T O F W O R K S H O P O B J E C T I V E S

Objective 1: To discuss the effectiveness of the CAP as a strategic planning tool and a fundraising tool

73% 23% 4%

Objective 2: To define the roles and responsibilities of CAP stakeholders in DPRK

32 68

Objective 3: To produce inputs for the common humanitarian strategy

55 36 9

Objective 4: To agree on an action plan for developing the CHAP and CAP

47 52 1

Have your expectations been met? 52 38 10 W O R K S H O P S E S S I O N S

Debate on the CAP: Costs and Benefits 18 50 32Introduction to the CAP/CHAP 41 41 18Exercise: Steps of the CHAP 52 38 10Monitoring 30 57 13Rights and Humanitarian Principles 67 24 9Capacities and Vulnerabilities 48 48 4Context Analysis and Debate on the scope for non-emergency assistance in DPRK

39 57 4

Scenario Building 39 48 9 4Strategic Goals 59 27 14Sector Plans 36 41 23Projects in the Consolidated Appeal 43 38 19 F A C I L I T A T I O N A N D W O R K S H O P O R G A N I S A T I O N

Rating on facilitation 61 28 11Rating on organisation of the workshop 60 40 Participants were asked to choose from a list of words/phrases (ranging from “waste of time” to “changed my life”) the three words that best sum up their overall opinion of the workshop. Words most chosen to describe this workshop were: Challenging (8) Interesting (8) Stimulating (6) Practical (5) Useful (5)

33

a g ocha field offices and cap facilitators to organize a ca… · cap workshop guide. this is a...

Documents